DigCCurr Professional Institute: Curation Practices for the Digital Object Lifecycle Digital Curation Program Development Nancy Y McGovern Research Assistant Professor, ICPSR

Topics Scope of a digital curation program Community context Three-legged stool for digital curation Stages of program development

Data Curation Digital Preservation Digital Curation + Program Scope

COMMUNITY CONTEXT

Community Documents Trusted Digital Repositories: Attributes and Responsibilities (RLG/OCLC) OAIS Reference Model (CCSDS) [ISO 14721]

More Community Documents ISO Digital Archive Audit and Certification Working Group – public draft pending Builds on: Trustworthy Repositories Audit & Certification (TRAC): Criteria and Checklist,

The Three-Legged Stool for a Digital Curation Program Organizational Infrastructure Technological Infrastructure Resources Framework $$$$ Adapted from: Kenney and McGovern, 2003

(how) (what) (how much) Adapted from: Kenney and McGovern, 2003

Organizational Infrastructure Best framework: TDR Best reflected in: – mission – policy development and implementation – long-term planning – institutional commitment – participation by Producers and Consumers Adapted from: Kenney and McGovern, 2003

Attributes of TDR OAIS Compliance Administrative Responsibility Organizational Viability Financial Sustainability Technological and Procedural Suitability System Security Procedural Accountability

Role of Policies Developing policies: Defines institutional commitment Demonstrates compliance Manages expectations Defines issues and challenges Raises awareness Identifies roles and responsibilities

Organizational Technological High-level organizational policies Lower-level organizational policies Individual policy statements Encoded policy statements Reflect the intentions of the organization Document the decisions of the organization Regulate the actions of the organization Translate organization’s policies into actions Policy Continuum Source: McGovern, 2008

Technological Infrastructure Most comprehensive framework: OAIS Combination of: – hardware and software – packaging and re-packaging – network, security, and services – functions and workflow – procedures, protocols, documentation – technical and curation skills Adapted from: Kenney and McGovern, 2003

OAIS Reference Model Source: version of high-level OAIS diagram designed for DPM workshop, 2003

Avoid Technology Pogo Stick Source: McGovern, DPM Workshop, 2005

Resources Framework No community-based articulation comparable to TDR or OAIS – yet… Includes: – staff, training, and development – technology and related developments – outreach and designated community support – other $$$$ Adapted from: Kenney and McGovern, 2003

Blue Ribbon Task Force on Sustainable Preservation and Access

LIFE² Cost Model

Resource Planning Steps 1.Identify cost categories 2.Identify common cost centers 3.Calculate costs 4.Secure resources

Secure Resources Get additional funding Recover costs Reduce expenses Reallocate

Example: ICPSR Model …with virtually all activities tied to curation

Connecting the 3 Legs Source: McGovern, 2005

Transparency and Compliance … Source: McGovern, 2005

Five Organizational Stages 1.Acknowledge: understanding that digital curation is a shared concern 2.Act: initiating digital preservation projects 3.Consolidate: segueing from projects to programs 4.Institutionalize: incorporating the larger environment and rationalizing programs 5.Externalize: embracing inter-institutional collaboration and dependency Source: Kenney and McGovern, 2003

Stage 1: Key Indicators Organizational infrastructure: often non-existent; implicit policy, or very high level 0101 Technological infrastructure: non-existent or heterogeneous and decentralized; disparate elements $$$$ Resources: generally low, finite, ad hoc financial commitment Source: Kenney and McGovern, 2003

Stage 2: Key Indicators Organizational infrastructure: implicit policy or expressed in general terms, increased evidence of commitment 0101 Technological infrastructure: project-specific and reactive; ad hoc location $$$$ Resources: often project-based funding Source: Kenney and McGovern, 2003

Stage 3: Key Indicators Organizational infrastructure: development of basic and essential policies 0101 Technological infrastructure: assessment of technology investment and requisite infrastructure, shift to proactive mode $$$$ Resources: some funding and support beyond projects, but limited Source: Kenney and McGovern, 2003

Stage 4: Key Indicators Organizational infrastructure: consistent, systematic management; comprehensive policy framework 0101 Technological infrastructure: technology planning anticipates needs; infrastructure investments planned/implemented $$$$ Resources: sustainable funding identified for core program areas and enhancement Source: Kenney and McGovern, 2003

Stage 5: Key Indicators Organizational infrastructure: virtual organizations complement institutional ones; collaboration inherent feature in resource planning 0101 Technological infrastructure: distributed and highly integrated; extra-organizational features and services $$$$ Resources: varying levels of investment, but sustainable funding; possibly distributed financial management Source: Kenney and McGovern, 2003

Using the Stages The 5 Stages: identify steps for developing an organization’s digital (defines a maturity model) provide a way of communicating about digital preservation development enable measuring progress towards programmatic digital preservation goals Source: Kenney and McGovern, 2003

Types of Planning and Review Durable Access Planning (ongoing) Self-assessment (internal process) Audit (external review by peers) Development plans (result of audit) Certification (future option?)

Source: DPM Workshop, 2003